Securities and Exchange Commission December 8, 2014 – Federal Register Recent Federal Regulation Documents

Results 1 - 9 of 9
Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application
Document Number: 2014-28682
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28682.html
Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc.; Notice of Application
Document Number: 2014-28648
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
Summary of Application: Applicants request an order to permit certain registered closed-end management investment companies to issue multiple classes of shares and to impose asset-based distribution fees and early withdrawal charges (``EWCs'').
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28648.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86
Document Number: 2014-28647
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28647.html
Self-Regulatory Organizations; NASDAQ OMX PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Anti-Internalization Functionality for Registered Market Makers on the PHLX Options Market
Document Number: 2014-28646
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28646.html
Self-Regulatory Organizations; NYSE MKT LLC.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Remove the Exchange's Quote Mitigation Plan as Provided by Rule 970.1NY
Document Number: 2014-28645
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28645.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the AdvisorShares Pacific Asset Enhanced Floating Rate ETF Under NYSE Arca Equities Rule 8.600
Document Number: 2014-28644
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28644.html
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Relating to Listing and Trading the following Series of IndexIQ Active ETF Trust Under NYSE Arca Equities Rule 8.600: IQ Wilshire Alternative Strategies ETF
Document Number: 2014-28643
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28643.html
Self-Regulatory Organizations; OneChicago, LLC; Notice of Filing of Proposed Rule Change Relating to Bilateral Block and Bilateral EFP Reporting Guidance
Document Number: 2014-28642
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28642.html
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook
Document Number: 2014-28641
Type: Proposed Rule
Date: 2014-12-08
Agency: Securities and Exchange Commission, Agencies and Commissions
https://regulations.justia.com/regulations/fedreg/2014/12/08/2014-28641.html
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